{"url":"https://nivawealth.com/firms/ball-and-company-wealth-management-133950","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/133950","regulatoryAum":203064245,"crd":"133950","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2769170","suffix":null,"lastName":"BALL","firstName":"JASON","middleName":"LINDSAY"},{"crd":"5909633","suffix":null,"lastName":"EISELE","firstName":"MIRANDA","middleName":"ANN"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-02","regulatoryAum":165733320,"clients":157,"employees":4,"offices":1},{"filedOn":"2022-02-21","regulatoryAum":181737777,"clients":157,"employees":4,"offices":1},{"filedOn":"2023-02-15","regulatoryAum":171086562,"clients":162,"employees":4,"offices":1},{"filedOn":"2024-02-10","regulatoryAum":175207537,"clients":162,"employees":4,"offices":1},{"filedOn":"2025-02-04","regulatoryAum":191202907,"clients":167,"employees":4,"offices":1},{"filedOn":"2026-02-04","regulatoryAum":203064245,"clients":154,"employees":4,"offices":1}],"secFileNumber":"801-78146","legalName":"Ball & Company Wealth Management, Inc.","displayName":"Ball & Company Wealth Management","slug":"ball-and-company-wealth-management-133950","website":"https://ballandcompany.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/133950/572a4579fe6f1f8a-r1.webp","tone":"light","width":771,"height":200,"sourceUrl":"https://ballandcompany.com/","sourceLabel":"Ball & Company, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"xUrl":"http://www.x.com/JasonBallCFP","founded":null,"organization":"Tennessee corporation","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"4 June 2013","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1336811.9931972788,"staff":{"employees":4,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":203064245,"discretionary":203064245,"discretionaryAccounts":450,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":89,"regulatoryAum":37410895},{"label":"High-net-worth individuals","clients":58,"regulatoryAum":159100468},{"label":"Pension and profit-sharing plans","clients":7,"regulatoryAum":6498055},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":54827}],"feePrograms":[{"role":"other","program":"Financial Planning and Consulting","summary":"Financial planning and consulting are billed as a negotiable fixed fee of $3,500 to $10,000, or hourly at $200 to $250.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006361","versionId":1006361,"submittedOn":"2026-02-04","documentName":"2026 ADV PART 2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:11:54.834151+00:00","documents":[{"name":"2026 ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006361","versionId":1006361,"submittedOn":"2026-02-04"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":202701571}],"custodyNote":"Ball & Company Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jason Ball","title":"President/CEO","crd":"2769170"},{"name":"Jason Ball","title":"Chief Compliance Officer","crd":"2769170"}],"ownership":[{"label":"Jason Ball","detail":"President/ceo in the 75% or more ownership band and a control person, since January 2004. Also chief compliance officer in the 50% to 75% ownership band and a control person, since November 2016."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"805-376-2779","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":78},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"4 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/133950/PDF/133950.pdf","brochureDate":"4 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006361","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Ball & Company Wealth Management have?","answer":"Ball & Company Wealth Management has 154 clients and manages $203 million for them, as of February 2026. They include 89 individual clients, 58 high-net-worth individuals, and 7 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ball & Company Wealth Management offer?","answer":"Ball & Company Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Ball & Company Wealth Management use?","answer":"Ball & Company Wealth Management’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $203M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ball & Company Wealth Management have?","answer":"Ball & Company Wealth Management has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Ball & Company Wealth Management invest in?","answer":"At the end of its last fiscal year, Ball & Company Wealth Management’s separately managed accounts held 78% exchange-traded equities, 12% registered funds (mutual funds, ETFs, BDCs) and 10% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Ball & Company Wealth Management?","answer":"Ball & Company Wealth Management’s direct owner is Jason Ball (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ball & Company Wealth Management get paid?","answer":"Ball & Company Wealth Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Ball & Company Wealth Management?","answer":"Its phone number is 805-376-2779. Its website is ballandcompany.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}